Purpose..............................................................................................................................................2
Definitions (for general definitions reference SBMS)......................................................................2
Responsibilities.................................................................................................................................2
Scope.................................................................................................................................................3
Procedure...........................................................................................................................................3
Audit Checklist
General Requirements...............................................................................................................................5
OSH Policy................................................................................................................................................6
Planning For Hazard Identification, Risk Assessment And Risk Control.................................................7
Legal and Other Requirements..................................................................................................................9
Objectives................................................................................................................................................10
OSH Management Program(s)................................................................................................................11
Structure and Responsibility...................................................................................................................12
Training, Awareness and Competence.....................................................................................................13
Consultation and Communication...........................................................................................................14
Documentation........................................................................................................................................15
Document and Data Control...................................................................................................................16
Operational Control.................................................................................................................................17
Emergency Preparedness and Response..................................................................................................18
Performance Measurement and Monitoring............................................................................................19
Accidents, Incidents, Nonconformances And Corrective And Preventive Action..................................20
Records and Records Management.........................................................................................................21
Audit........................................................................................................................................................22
Management Review...............................................................................................................................23
Activity Checklist....................................................................................................................................24
18001 Audit Checklist
269887464.doc
1. Purpose
1.1. To define an assessment (audit) program.
2. Definitions (for general definitions reference SBMS)
2.1. Finding - Results of the evaluation of the collected audit evidence compared with the agreed
audit criteria. Audit findings provide the basis for the audit report. While all findings of
nonconformity must be documented, findings of conformity may be documented if within the
agreed upon audit scope.
2.2. Nonconformance - An activity, attribute, or document, which fails to comply with established
requirements, and may lead to a condition having an adverse effect on quality, environment,
ES&H, operations, or reliability.
2.3. Major nonconformance - A lack of an element, procedure, or a non-fulfilled requirement that
puts the process/system at jeopardy, and could lead to significant impact on quality,
environment, ES&H, operations, or reliability.
2.4. Minor nonconformance - An observed lapse in a program, process, procedure, or requirement,
usually single incidents that do not have a significant impact on the quality, environment,
ES&H, operations, or reliability.
2.5. Noncompliance - Non-adherence to an applicable regulatory requirement.
2.6. Recommendations (opportunity for improvement) - A suggested means of improving an
activity or fulfilling the intent of a requirement.
3. Responsibilities
3.1. The OSH Management System Representatives shall implement this assessment program
within their organizations.
3.2. Assessments (audits) shall be conducted by competent persons, internal or external to the
organization being audited, who are independent of the activity being audited and are familiar
with the requirements of the OSHAS 18001 management system.
3.3. The OSH Management System Representatives shall ensure that the assessment team has
either formal or on-the-job training in the following areas:
3.3.1. Applicable occupational safety and health issues likely to be associated with the facility
operations and related management issues. For example, BNL personnel who meet this
requirement are workers, technicians, professionals, managers and scientists who have
completed their BNL training requirements and who are familiar with the operation or
organization being assessed.
3.3.2. Applicable occupational safety and health laws, regulations, and related documents or
occupational safety and health management systems and Subject Areas.
3.4. The OSH Management System Representatives shall ensure that the lead assessor has
experience and training conducting assessments. Training such as OHSAS 18001 Internal
18001 Audit Checklist
Auditor and Foundation Training Course or equivalent is appropriate. If technical experts are
used on the assessment team, they are not required to have experience conducting assessments.
3.5. The OSH Management System Representatives shall ensure that the assessment team members
have the following personal attributes and skills:
The ability to clearly express concepts and ideas, orally and in writing.
Strong observational, organizational, listening, and communication skills.
The ability to maintain independence and objectivity.
The ability to reach sound judgment based on objective evidence.
4. Scope
4.1. The checklist consists of key questions that might trigger safety or environmental
requirements.
5. Procedure
5.1. Schedule The OSH Management System Representative shall maintain an assessment
schedule. The scheduling of assessments should be flexible with the allocation of resources
based on the following factors:
Importance, status, risk, and complexity of the activity, item, or process.
Problems encountered with the activity, or item.
Scheduling of specific activities.
Availability of qualified personnel.
A review of findings reported in previous assessments.
5.2. OSH Management System Representative shall perform an annual OSH Management System
assessment, per the requirements in the attached Audit Checklist, in order to determine
whether the OSH management system and its elements are in place, adequate, and effective in
protecting the safety and health of workers and preventing incidents.
5.3. OSH Management System Representative shall perform more frequent OSH assessments of
specific areas or processes if appropriate, depending on the importance of the activity, process
change, previous assessment results, or as determined by the organizations management.
5.4. Emphasis will be placed on process improvement and verification of sustained effectiveness of
action taken to correct previous deficiencies.
5.5. Assessments shall evaluate conformance to established requirements. That is, the examination
of objective evidence demonstrating that activities, procedures, instructions, and records are
being properly executed and documented.
5.6. Before conducting an assessment, the auditor shall:
5.6.1. Consult with the organizations management in order to determine the membership of
the assessment team.
269887464.doc
269887464.doc
5.14.
Assessments reports shall be maintained by the organization being assessed. Retention
time for assessment documentation shall per the requirements of SBMS.
269887464.doc
Date:
Lead Auditor:
GENERAL REQUIREMENTS
General Requirements
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
269887464.doc
MAJOR NONCONFORMANCE
Date:
Lead Auditor:
OS&H POLICY
OSH Policy
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
Date:
Lead Auditor:
PLANNING
Auditor:
Planning For Hazard Identification, Risk Assessment And Risk Control
NO
PARTIAL
YES
The organization shall ensure that the results of these assessments and the effects of
these controls are considered when setting its OSH objectives. The organization shall
document and keep this information up to date.
The organizations methodology for hazard identification and risk assessment shall:
a) be defined with respect to its scope, nature and timing to ensure it is proactive
rather than reactive;
b) provide for the classification of risks and identification of those that are to be
eliminated or controlled by measures as defined in 4.3.3 and 4.3.4;
c) be consistent with operating experience and the capabilities of risk control
measures employed;
d) provide input into the determination of facility requirements, identification of
training needs and/or development of operational controls;
e) provide for the monitoring of required actions to ensure both the effectiveness
and timeliness of their implementation.
NOTE For further guidance on hazard identification, risk assessment and risk control,
see OHSAS 18002.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
269887464.doc
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
Date:
Lead Auditor:
269887464.doc
10
Date:
Lead Auditor:
PLANNING
Legal and Other Requirements
Auditor:
NO
PARTIAL
YES
The organization shall keep this information up-to-date. It shall communicate relevant
information on legal and other requirements to its employees and other relevant
interested parties.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
11
Date:
Lead Auditor:
PLANNING
Objectives
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
269887464.doc
12
MAJOR NONCONFORMANCE
Date:
Lead Auditor:
PLANNING
OSH Management Program(s)
Auditor:
NO
PARTIAL
YES
The OSH management program(s) shall be reviewed at regular and planned intervals.
Where necessary the OSH management program(s) shall be amended to address
changes to the activities, products, services, or operating conditions of the
organization.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
13
Date:
4.4.1
TITLE:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Structure and Responsibility
Auditor:
NO
PARTIAL
YES
The organizations management appointee shall have a defined role, responsibility and
authority for:
a) ensuring that OSH management system requirements are established, implemented
and maintained in accordance with this OHSAS specification;
b) ensuring that reports on the performance of the OSH management system are
presented to top management for review and as a basis for improvement of the OSH
management system.
All those with management responsibility shall demonstrate their commitment to the
continual improvement of OSH performance.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
14
Date:
4.4.2
TITLE:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Training, Awareness and Competence
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
15
Date:
4.4.3
TITLE:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Consultation and Communication
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
16
Date:
4.4.4
TITLE:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Documentation
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
17
4.4.5
TITLE:
Date:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Document and Data Control
Auditor:
NO
PARTIAL
YES
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
18
Date:
4.4.6
TITLE:
Lead Auditor:
IMPLEMENTATION AND
OPERATION
Operational Control
Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
19
Date:
4.4.7
TITLE:
Lead Auditor:
IMPLEMENTATION AND
Auditor:
OPERATION
Emergency Preparedness and Response
NO
PARTIAL
YES
The organization shall review its emergency preparedness and response plans and
procedures, in particular after the occurrence of incidents or emergency situations.
The organization shall also periodically test such procedures where practicable.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
20
Date:
4.5.1
TITLE:
Lead Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
21
Date:
4.5.2
TITLE:
Lead Auditor:
NO
PARTIAL
YES
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
22
Date:
4.5.3
TITLE:
Lead Auditor:
Auditor:
NO
PARTIAL
YES
OSH records shall be legible, identifiable and traceable to the activities involved.
OSH records shall be stored and maintained in such a way that they are readily
retrievable and protected against damage, deterioration or loss. Their retention times
shall be established and recorded.
Records shall be maintained, as appropriate to the system and to the organization, to
demonstrate conformance to this OHSAS specification.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
23
Date:
4.5.4
TITLE:
Lead Auditor:
Auditor:
NO
PARTIAL
YES
The audit program, including any schedule, shall be based on the results of risk
assessments of the organizations activities, and the results of previous audits. The
audit procedures shall cover the scope, frequency, methodologies and competencies,
as well as the responsibilities and requirements for conducting audits and reporting
results.
Wherever possible, audits shall be conducted by personnel independent of those
having direct responsibility for the activity being examined.
NOTE The word independent here does not necessarily mean external to the
organization.
FACILITY IMPLEMENTATION OF STANDARD:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
24
Date:
Lead Auditor:
MANAGEMENT REVIEW
Management Review
Auditor:
NO
PARTIAL
YES
The management review shall address the possible need for changes to policy,
objectives and other elements of the OSH management system, in the light of OSH
management system audit results, changing circumstances and the commitment to
continual improvement.
FACILITY IMPLEMENTATION OF STANDARD:
COMMENTS:
EVALUATION:
MEETS REQUIREMENT
MINOR
NONCONFORMANCE
MAJOR NONCONFORMANCE
269887464.doc
25
Date:
Lead Auditor:
Activity Checklist
Activity
1:
Activity
2:
Activity
3:
Activity
4:
Activity
5:
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
____________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
Footnote:______
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
Criteria
269887464.doc
26
CON
MIN
MAJ
COM
OBS
Date:
Lead Auditor:
Activity
1:
Activity
2:
Activity
3:
Activity
4:
Activity
5:
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
_________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
CON
MIN
MAJ
COM
OBS
Footnote:
__________
Criteria
Footnotes/Comments:
269887464.doc
27
269887464.doc
Date:
28
Lead Auditor: